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Ethics and morals differ in important ways. The complex issues that anthropologists confront rarely admit to
the simple wrongs and rights of moral dicta, and one of the prime ethical obligations of anthropologists is to
carefully and deliberately weigh the consequences and ethical dimensions of the choices they make by
action or inaction. Similarly, ethical principles and political positions should not be conflated; their foci of
concern are quite distinct. Finally, ethics and law differ in important ways, and care must always be taken in
making these distinctions. Different processes are involved in making ethical versus legal decisions, and they
are subject to different regulations. While moral, political, legal and regulatory issues are often important to
anthropological practice and the discipline, they are not specifically considered here. These principles address
ethical concerns. 1
Although these principles are primarily intended for Association members, they also provide a structure for
communicating ethical precepts in anthropology to students, other colleagues, and outside audiences,
including sponsors, funders, and Institutional Review Boards or other review committees.
The American Anthropological Association does not adjudicate assertions of unethical behavior,2 and these
principles are intended to foster discussion, guide anthropologists in making responsible decisions, and
educate.
Next Page: Do No Harm
Notes
1. Murray L. Wax, Some Issues and Sources on Ethics in Anthropology, in Handbook on Ethical Issues
in Anthropology, ed. Joan Cassell and Sue-Ellen Jacobs, Special Publication of the American
Anthropological Association 23 (Washington, D.C.: American Anthropological Association,
1987). (back)
2. Commission to Review the AAA Statements on Ethics, Final Report of the Commission to Review the
AAA Statements on Ethics (1995); Janet E. Levy, Life is Full of Hard Choices: A Grievance Procedure
for the AAA? Anthropology News 50, no. 6 (2009):78; Carolyn Fluehr-Lobban, Guiding Principles
over Enforceable Standards. Anthropology News 50, no. 6 (2009):89. (back)
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1. Do No Harm
Posted on November 1st, 2012 by AAA Admin
A primary ethical obligation shared by anthropologists is to do no harm. It is imperative that, before any
anthropological work be undertaken in communities, with non-human primates or other animals, at
archaeological and paleoanthropological sites each researcher think through the possible ways that the
research might cause harm. Among the most serious harms that anthropologists should seek to avoid are
harm to dignity, and to bodily and material well-being, especially when research is conducted among
vulnerable populations. Anthropologists should not only avoid causing direct and immediate harm but also
should weigh carefully the potential consequences and inadvertent impacts of their work. When it conflicts
with other responsibilities, this primary obligation can supersede the goal of seeking new knowledge and can
lead to decisions to not undertake or to discontinue a project. In addition, given the irreplaceable nature of the
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archaeological record, the conservation, protection and stewardship of that record is the principal ethical
obligation of archaeologists. Determining harms and their avoidance in any given situation is ongoing and
must be sustained throughout the course of any project.
Anthropologists may choose to link their research to the promotion of well-being, social critique or advocacy.
As with all anthropological work, determinations regarding what is in the best interests of others or what
kinds of efforts are appropriate to increase well-being are value- laden and should reflect sustained discussion
with others concerned. Anthropological work must similarly reflect deliberate and thoughtful consideration of
potential unintended consequences and long-term impacts on individuals, communities, identities, tangible
intangible heritage and environments.
Previous Page: Preamble | Next Page: Be Open and Honest Regarding Your Work
Supporting Resources
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Previous Page: Do No Harm | Next page: Obtain Informed Consent and Necessary Permissions
Supporting Resources
Notes
1. Charlotte Allen, Spies Like Us: When Sociologists Deceive Their Subjects, Lingua Franca 7, no. 9
(1997). (back)
2. David Calvey, The Art and Politics of Covert Research: Doing Situated Ethics in the
Field, Sociology 42, no. 5(2008):905-918. (back)
3. In this document, when we use the term compartmented, we are referring generally to any research
project in which the principal investigator is part of a research project, conducted on behalf of a third
party, in which researcher has neither control nor knowledge about the overall goals, structure, purpose,
sponsors, funding, and/or other critical elements of a project. Such projects may have government or
private funding and may or may not entail classified information.
Any research project that limits the anthropologists access to decisions, information and/or
documentation that enables her/him to understand and responsibly explain the structure, goals, risks,
and benefits of the research to potential subjects is problematic. This is because the researchers limited
understanding and control makes it impossible to present potential participants with a clear and honest
statement of risks, benefits, and outcomes. (back)
4. Department of Health and Human Services, 42 CFR Parts 50 and 93: Public Health Service Policies
on Research Misconduct, Federal Register 70, no. 94(2005):28370-28400. (back)
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Anthropologists have an obligation to ensure that research participants have freely granted consent, and must
avoid conducting research in circumstances in which consent may not be truly voluntary or informed. In the
event that the research changes in ways that will directly affect the participants, anthropologists must revisit
and renegotiate consent. The informed consent process is necessarily dynamic, continuous and reflexive.
Informed consent does not necessarily imply or require a particular written or signed form. It is the quality of
the consent, not its format, which is relevant.
Anthropologists working with biological communities or cultural resources have an obligation to ensure that
they have secured appropriate permissions or permits prior to the conduct of research. Consultation with
groups or communities affected by this or any other type of research should be an important element of the
design of such projects and should continue as work progresses or circumstances change. It is explicitly
understood that defining what constitutes an affected community is a dynamic and necessary process.
Previous Page: Be Open and Honest Regarding Your Work | Next Page: Weigh Competing Ethical
Obligations and Affected Parties
Supporting Resources
Notes
1. Sue-Ellen Jacobs, Case 6: Anonymity Revisited, in Handbook on Ethical Issues in Anthropology,
ed. Joan Cassell and Sue-Ellen Jacobs, Special Publication of the American Anthropological
Association 23 (Washington, D.C.: American Anthropological Association, 1987). (back)
2. Sue-Ellen Jacobs, Case 5: Anonymity Declined, in Handbook on Ethical Issues in Anthropology,
ed. Joan Cassell and Sue-Ellen Jacobs, Special Publication of the American Anthropological
Association 23 (Washington, D.C.: American Anthropological Association, 1987). (back)
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carefully reviewed so that you are clear about the conditions of award that you will agree to if your
proposal is successful and you accept the grant or contract. If there are conditions which are contrary to
the principles in this code, you can bring it to the attention of the funder and attempt to negotiate
appropriate language in the grant or contract. However, the funder has in most cases carefully
considered their requirements, has obtained professional reviews and believes that the terms and
conditions best serve their needs. You may find that many funders, particularly foundations are eager to
have their work disseminated and you find willing partners. At the same time you may find that some
funders place restrictions on how you may use the data collected and who controls review of reports or
articles submitted for publication. It is your responsibility to carefully review the terms and conditions
of the grant or contract award before you sign the document.
As examples, the full citation for FAR: 52.227-14 Rights in DataGeneral is provided in order to
give the reader a clear understanding of the completeness and detail that becomes incorporated into an
federal RFP or contract concerning Rights in Data. A second document provides examples of
contract and grant language regarding Rights in Data from a Non-profit organization and a foundation.
These last two examples represent actual contract/grant language. (back)
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digitalization and of digital media for data storage and preservation 5 is of particular concern given the
relative ease of duplication and circulation. Ethical decisions regarding the preservation of research materials
must balance obligations to maintain data integrity with responsibilities to protect research participants and
their communities against future harmful impacts. Given that anthropological research has multiple
constituencies and new uses such as by heritage communities, the interests of preservation ordinarily
outweigh the potential benefits of destroying materials for the preservation of confidentiality. 6 Researchers
generating object collections have a responsibility to ensure the preservation and accessibility of the resulting
materials and/or results of analyzed samples, including associated documentation.
Previous Page: Make Your Results Accessible | Next Page: Maintain Respectful and Ethical Professional
Relationships
Supporting Resources
Notes
1. Sydel Silverman, Why Preserve Anthropological Records? CoPAR Bulletin 1 (n.d.); see also the
following in Sydel Silverman and Nancy J. Parezo, eds., Preserving the Anthropological Record, 2nd
ed. (New York: Wenner-Gren Foundation for Anthropological Research, 1995): Victor Golla, The
Records of American Indian Linguistics; John Van Willigen, The Records of Applied
Anthropology; Sue E. Estroff, The Records of Medical Anthropology; Michael A. Little, Jane E.
Buikstra, and Frank Spencer, The Records of Biological Anthropology; Don D. Fowler and Douglas
R. Givens, The Records of Archaeology. (back)
2. The National Science Foundation now requires prospective Principal Investigators to submit a Data
Management Plan with all proposals. See National Science Foundation, Data Management and
Sharing Frequently Asked Questions. The University of Connecticut provides helpful background
about this requirement (Why Create a Data Management Plan?) and advice about Writing a Data
Management Plan; further guidance and resources are available from the University of Californias
DMPTool.
The National Institutes of Health requires data sharing (NIH Data Sharing Policy). In 1999, the
Office of Management and Budget issued a revision to OMB Circular A-110, which requires that
Federal agencies that award research and development dollars ensure that all data be available to the
public under the requirements of the Freedom of Information Act. A discussion of the changes and the
text of the revision, which went into effect in November 1999, is available at: Office of Management
and Budget, OMB Circular A-110: Uniform Administrative Requirements for Grants and Agreements
With Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations, Federal
Register 64, no. 195(1999):54926-54930.
Anthropologists who pursue federal projects that result in the development of intellectual property,
particularly those which generate licenses and/or patents, should be aware of the University and Small
Business Patent Procedures Act, popularly known as the Bayh-Dole Act, as well as their own
institutions policies regarding intellectual property and technology transfer. Bayh-Dole is the 1980
legislation that enabled universities to assume exclusive control over intellectual property resulting
from federally-funded research and development, for the purpose of further development, transfer to
industry, commercialization and provision to the public.
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30 Bayh-Dole Driving Innovation commemorates the enactment and assesses the impact of the BayhDole Act. The University of California Technology Transfer Office has republished a COGRdeveloped overview of the history and impact of the Bayh-Dole Act:. Council on Governmental
Relations, The Bayh-Dole Act: A Guide to the Law and Implementing Regulations (1999). The
National Council of University Research Administrators has published a monograph on intellectual
property issues in university research: Ann M. Hammersla, A Primer on Intellectual Property
(Washington, D.C.: National Council of University Research Administrators, 2006). (back)
3. David H. Price, Anthropological Research and the Freedom of Information Act, Cultural
Anthropology Methods 9, no. 1 (1997):12-15. (back)
4. Mary Elizabeth Ruwell, The Physical Preservation of Anthropological Records in Sydel Silverman
and Nancy J. Parezo, eds., Preserving the Anthropological Record, 2nd ed. (New York: Wenner-Gren
Foundation for Anthropological Research, 1995). (back)
5. Hugh Gusterson, Whats in a Laptop? Anthropology Now 4, no. 1 (2012):26-31. (back)
6. For informational and instructional materials on archiving and preserving qualitative data, see the
following resources:
Irish Qualitative Data Archive and Tallagt West Childhood Development Initiative. Best Practice in
Archiving Qualitative Data.
UK Data Archive. Create and Manage Data.
Denise Thomson, Lana Bzdel, Karen Golden-Biddle, Trish Reay & Carole A. Estabrooks. Central
Questions of Anonymization: A Case Study of Secondary Use of Qualitative Data. FQS: Forum:
Qualitative Social Research 6(1).
For information on anonymization software, see:
University of Pennsylvania Malawi Longitudinal Study of Families and Health page on QualAnon
software
and the Irish Qualitative Data Archive (IQDA) Qualitative Data Anonymizer.
For information on data repositories, visit:
Inter-university Consortium for Political and Social Research, the Qualitative Data Repository, and the
UK Data Service. (back)
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Recent Cases
An Ethics of Multimedia Practice?
The Ethics of Research on Facebook
Links
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media ethics
Statement on Ethics
Statement on Ethics
Principles of Professional Responsibility
1. Do No Harm
2. Be Open and Honest Regarding Your Work
3. Obtain Informed Consent and Necessary Permissions
4. Weigh Competing Ethical Obligations Due Collaborators and Affected Parties
5. Make Your Results Accessible
6. Protect and Preserve Your Records
7. Maintain Respectful and Ethical Professional Relationships
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